Katherine A. Derisson

FYVIE FINANCIAL LLC

Omaha, NE

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CRD#: 6862751

Professional summary

Katherine Anne Derisson, who also goes by Katherine Anne Dodson, Katherine Anne Neale, is a registered financial advisor currently at FYVIE FINANCIAL LLC located in Omaha, Nebraska.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Katherine has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Anne Dodson | Katherine Anne Neale

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Rental Property Type of business: Rental properties Great Yarmouth, NORF Start date: 10/12/2007 Owner Hours per week: 0 Hours during trading: 0 Maintain property Fempreneur Fair Type of business: events Co-owner Hours per week: 1 Hours during trading: 1 Creating and events to showcase female entrepreneurs in the local area FemCity Collective Leader Type of business: affiliate networking group Hours during week:1 Hours during trading: 0 Business networking

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Anne Derisson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 19, 2023 - Present

FYVIE FINANCIAL LLC

RIA

CRD#: 309375

Omaha, NE

Past

June 3, 2020 - December 31, 2022

FYVIE FINANCIAL LLC

RIA

CRD#: 309375

OMAHA, NE

Past

August 31, 2018 - May 1, 2020

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Omaha, NE

Past

August 28, 2018 - May 1, 2020

HIGHTOWER SECURITIES, LLC

CRD#: 116681

Omaha, NE

Past

December 5, 2017 - July 15, 2018

EDWARD JONES

RIA

CRD#: 250

OMAHA, NE

Past

November 16, 2017 - July 15, 2018

EDWARD JONES

CRD#: 250

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(7/19/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2017

General Securities Representative Examination

Current Firm

FYVIE FINANCIAL LLC

CRD#: 309375 / SEC#:

Nebraska

Registered Investment Advisory firm - (1/11/2023 Approved)

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Contact information

Main Address

Omaha, NE

Mailing Address

Phone number

(402) 210-3197

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	96
AUM (Assets Under Management)	$ 17,858,896

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Katherine A. Derisson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Anne Derisson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FYVIE FINANCIAL LLC

FYVIE FINANCIAL LLC

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2017

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2017

Current Firm

FYVIE FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FYVIE FINANCIAL LLC

TRUST BUT VERIFY

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